Tag: risk assessment questionnaire

Bulletin | Paws & Reflection Edition | August 2023

In this bulletin: In the Dog House – Misleading Communications and Advisor Ranking Contests Summer Supervision: FSRA’s Plan for Credentialing Bodies Like a Cloudless August Sky, Ministry of Finance Quietly Proposes New Authorized Purposes for Enforcement Money...

Bulletin | Anti-Boredom Edition | July 2023

In this bulletin:  A Visit from Old Friends – OSC Releases Annual Summary Report for Dealers, Advisers and Investment Fund Managers  Learning Something New – CIRO’s Proposed New Proficiency Model A Trip Around Alberta – ASC Releases 2023 Annual Report Never a Dull...

OSC Releases Annual Summary Report for Dealers, Advisers and IFM

On July 27, 2023, the Ontario Securities Commission (OSC) released its annual report outlining the work staff conducted in 2022/23 (to date). The report has four parts, outlining the OSC’s (i) education and outreach to registrants; (ii) regulatory oversight activities...

Bulletin | Get Ready for Warmer Weather Edition | April 2022

In this bulletin: A Matter of Time: FSRA Consultation on Licensing Requirements for Mortgage Agents and Brokers It’s Still Ongoing – OSC Continues with its Conflict of Interest Focused Reviews Improved ESG Disclosure in Scope as CSA Targets Changes to National...

Bulletin | Hello February! Why So Short? Edition | February 2022

In this bulletin: Everything’s Derivative: Canadian Securities Regulators Adopt Amendments to Derivatives Clearing Rules Now You See Me: New Ownership Transparency Requirements for Private Ontario Corporations Not Just a Status Update: New AML Requirements Applicable...

Bulletin | Heatwave Edition | August 2021

In this bulletin: OSC Finalizes 2021-2022 Statement of Priorities OSC’s CRR Branch Publishes its Annual Report on Registrants CSA Announces Plans to Create a New Self-Regulatory Organization Policies and Procedures Change Required – CSA Finalizes Rules...

Bulletin | Taking Care of Business Edition | May 2020

In this bulletin: The RAQ is Back on Track OSC Issues Progress Report on Its Burden Reduction Initiatives OSC Staff Share Compliance Program Updates during PMAC’s Spring Regulatory and Compliance Webcast FSRA Issues Guidance Concerning Mortgage-Based Investments...

The RAQ is Back on Track

In March, the Ontario Securities Commission (OSC) announced that due to COVID-19, it was postponing the 2020 Risk Assessment Questionnaire (RAQ) cycle until further notice. On May 28, chief compliance officers (CCOs) of registrants were notified that they will receive...

Bulletin | Working From Home Edition | April 2020

In this bulletin: CSA Extends Deadline to Implement Conflicts-Related Client-Focused Reforms by 6 Months CSA and FSRA Extend Timeline for Implementing Changes to Syndicated Mortgages Regime Cyber-Security During the COVID-19 Pandemic and Beyond Get Ready to Report...

Bulletin | Spring Edition | March 2020

In this bulletin: You’ve Activated Your Business Continuity Plan. What’s Next? CSA and OSC Extend Certain Deadlines for Registrants and Investment Funds and Postpose Certain Initiatives FINTRAC Signals Flexibility to Reporting Entities Affected by COVID-19 CSA...